SVP – IT Regulatory Interaction And Examination Manager

May 7, 2020
New York or Rutherford, NJ, United States of America
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The Regulatory Interaction and Examination Manager is a key component of maintaining and maturing our relationship with our Prudential Regulators. The role is a member of the team, which acts as the primary interface and coordination point for all regulatory examination management and ongoing supervisory activities. The individual will be responsible to support the coordination of examinations, requests and meetings with regulatory agencies as well as participating on special regulatory projects.

Responsibilities Include:

  • Exam Management
    • Drive the regulatory examination process as a lead or support contact/central point of communication with regulators for examinations and requests – schedule, objectives, etc. Support the definition and communication strategies for regulatory exam management in order to meet Citi’s legal, regulatory and compliance requirements
    • Oversee regulatory preparatory activities and provide feedback to management and the team regarding deliverable request and meeting materials
    • Provide coaching to the management and team in advance of regulatory exam meetings to ensure consistency, applicability of the message and the materials meet regulatory request/expectations
    • Lead the collection, review and delivery of all deliverables and follow-up requests required for successful completion of the examination process
    • Anticipate questions and/or concerns that may arise during the examination, be able to ‘connect the dots’ and be able to communicate the ‘big picture’ to both the internal team and the regulators
    • Responsible for communicating exam status and updates to  Senior Management and the team
    • If required, responsible for the coordination, development and review regulatory examinations draft responses
    • Utilize strong analytical skills to evaluate controls, identify control issues, review project plans and corrective actions to identify missing milestones and tasks.
    • Analyze regulatory requirements and help define and/or validate the controls that address these requirements
  • Ongoing Supervisory Activities
    • Lead the engagement / attendance at all ongoing Supervisory / Management meetings
    • Ability to “connect the dots” from all regulatory interactions, both exams and meetings and apprise management of common themes and new areas of focus
    • Participation in periodic briefing / debriefing with other regulatory contacts across Citi to share regulatory points of view
    • Coordinate the development and review of required quarterly regulatory status updates
    • Monitor status of Regulatory Issue Corrective Action as well as review and provide feedback on evidentiary materials in support of regulatory issue closure
    • Analyze regulatory requirements and help define and/or validate the controls that address these requirements


  • 10+ years of relevant experience
  • 7 – 10 years experience working in technology risk and / or control functions (such as internal audit) within a financial services organization
  • 5 - 7 years experience working with external regulators  or Internal Audit within a financial services organization
  • Technical expertise/acumen of distributed, network and mainframe platforms/environments
  • Demonstrated leadership and adaptability when facing unique challenges of a dynamic organization
  • Strong interpersonal skills, including the ability to partner with others and deal effectively with multiple projects and changing priorities
  • Strong analytical and problem solving skills with excellent follow-up and strong attention to detail
  • Exemplary written and oral communication skills required, ability to synthesize key messages and “storytell”.
  • Experience and ease in interfacing with Senior Management preferred.
  • Excellent influencing and negotiation skills and ability to work effectively with all levels of the organization as well as geographically disbursed/matrix teams
  • Proven ability to work independently in a fast paced multi-tasking environment

If interested, please email your resume to


Bachelor’s/University degree or equivalent experience,

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